Law, Disrupted: How Asset Managers can Minimize Risk with the SEC with C. Dabney O'Riordan

On the latest episode of Law, disrupted, John B. Quinn is joined by C. Dabney O'Riordan, partner in our Los Angeles and DC offices and longest-serving leader of the SEC's Asset Management Unit, who left the Agency last year. Together, they discussed the actions an asset manager can take if it identifies a potential issue to minimize its risk of an SEC investigation or enforcement action.

Listen on: Stitcher, Spotify, Apple.